Form 4 for SWZ Total Return Securities Fund
Accepted 2026-03-09 00:00:00 ET · period of report 2026-03-05 · accession 0001398344-26-004896 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2026-03-09 | 2026-03-05+ | SWZ | Dakos Andrew | Pres, CEO, Dir, Affiliate of Adviser | P - Purchase | $5.99 | +24.5K | 62.1K | +65% | +$146.7K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-03-05 | P | A | 12,000 | $6.01 | 49,595 | I Limited Partnership | — | — | (F2) Represents the weighted average price. (F1) Shares are held by a limited partnership in which Mr. Dakos has a beneficial interest. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |
| 2 | Common | Common Stock | 2026-03-06 | P | A | 12,500 | $5.97 | 62,095 | I Limited Partnership | — | — | (F2) Represents the weighted average price. (F1) Shares are held by a limited partnership in which Mr. Dakos has a beneficial interest. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |